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FINRA Awards for Shana M. Rugani

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0052002/10/2012Claimant(s): Bryan Farney
Claimant Lawyers(s): Shana M. Rugani
Respondent(s): Cathy Thornock, Christopher Duval, Russell Thornock, Uinta Investments.
Respondent Lawyers(s): Christopher Dean Duval, Russell D. Thornock
Arbitrator(s): William S. Hopkins
Hearing Site: Houston, TX
Checkmark Icon$50,000
11-0010601/13/2012Claimant(s): PCF LLC, TGV LLC
Claimant Lawyers(s): Shana M. Rugani
Respondent(s): William Kring, Triad Advisors.
Respondent Lawyers(s): J. Steven Parker
Arbitrator(s): Arthur DeStefano, William H. Fleece, John T. Luce
Hearing Site: Tampa, FL
Checkmark IconDismissed by Rule 12504
09-0579710/14/2010Claimant(s): Christopher Durham, Norris Durham, Durham Family Trust dated 10/30/96, Durham Family Trust of Scottsdale, AZ
Claimant Lawyers(s): Shana M. Rugani
Respondent(s): Glenn Foerster, Pamela Lawson, Robert Lawson, Lawson Financial Corporation
Respondent Lawyers(s): Michael Freedman
Arbitrator(s): Stephen J. Taddie, W. Michael Kelley, Steven M. Guttell
Hearing Site: Phoenix, AZ
Checkmark Icon$277,500

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